Nowadays, organizations are shifting towards project-based management strategies in order to implement more flexible structures that allow them to respond and compete in complex business environments. In this way, project management has been regarded as a valuable competence, providing the organization and its management teams the opportunity to adapt the knowledge, skills and tools necessary to meet project requirements as well as organizational goals. Among the wide array of decisions project managers have to evaluate project selection (PS) and project prioritization (PP) are crucial in order to maximize stakeholder’s value through the effective management and allocation of resources to projects that are in alignment with the organization’s strategic objectives. Moreover, the integration of management techniques, guidelines and practices has also become a necessity for intergovernmental (IGOs) and non-profit organizations (NPOs), especially because they do not possess a conventional bottom line and in most instances, their main goal is rarely profit maximization. Although the main objective of operations of IGOs and NPOs is also success, this is difficult to be defined and evaluated. As a matter of fact, studies related to project management in IGOs and NPOs argue that the literature available has ignored the public good sector to a great extent, since the majority of the portfolio management tools available are tailored for commercial and for-profit organizations (FPOs). Consequently, this study explores the project portfolio management (PPM) process in intergovernmental and non-profit organizations focusing specifically on the decision-making process regarding project selection and prioritization. It provides an understanding of the main criteria these organizations take into consideration when selecting and prioritizing projects and the impact these methodologies have in terms of achieving project and organizational success. In addition, it examines the role of the project management office (PMO) and individual project managers based on their influence on the decisions concerning project selection and prioritization, as well as project success and organizational success. The key findings of this study confirm the relevance of the priorities determined by the main stakeholders as one of the principal criteria for project selection, followed by the allocation of funding and resources and the need for strategic alignment. Furthermore, in terms of determining a ranking among the selection criteria, this study has found that within these organizations all the different requirements encompassed in the selection process should be treated as equal. Additionally, it has been possible to determine that for intergovernmental and non-profit organizations the project selection and project prioritization phases are not isolated from one another; and are in fact treated as on single criteria. Conversely, the findings of this study contradict the proposition that the project management office is highly influential in the decision-making process of IGOs and IGOs; however, it emphasizes the role of the project manager in project and organizational success as highly valuable since they possess the hard and soft project management skills that increase the chances to achieve the organizational goals.

Abstract Although the need for change was recognized a couple of decades ago, the construction industry is still struggling with its productivity development and customer satisfaction. Usually, construction improvement initiatives focus on developing practices related to project management and delivery processes. However, this study views the general underperformance of the industry from the perspective of how the construction business is managed and conceptualized in practice. The objective of this thesis is to understand the role of business models in construction business management. This objective is pursued by addressing specific research questions in four individual publications, two of which contribute to the research objective from a more conceptual and two from a more empirical viewpoint. The exploratory study follows the qualitative research tradition and exploits the case study approach. The primary method for data collection has been interviews. This study demonstrates the applicability of the business model concept to the analysis and development of the construction business. However, its use requires a comprehensive understanding of the concept and proper alignment of its elements in practice. The results of this study indicate that the current business models of construction companies are too similar to enable value-based competition. Indeed, the conventional business models neglect the customer perspective and thus revolve around internal efficiency rather than customer value creation. Consequently, construction businesses are usually managed on a project-by-project basis without the governing effect of specific customer-oriented business models and a clear long-term vision or business purpose that would go beyond the objectives of growing and surviving. A better understanding of business models provides a starting point for managers to reform the construction business and the whole industry. Explicitly defined business models provide a foundation for consistent management practice and process development. New possibilities for customer value creation can be exploited as the limitations of the current thinking are overcome and business models are approached from the viewpoints of the customer and value creation. / Tiivistelmä Rakennusalalla on edelleen vaikeuksia tuottavuuden kehittämisen ja asiakastyytyväisyyden parantamisessa, vaikka tarve muutokseen tunnistettiin jo pari vuosikymmentä sitten. Yleensä alan kehityshankkeet kohdistuvat projektien johtamiseen ja projektitoimituksiin liittyviin käytäntöihin. Tässä tutkimuksessa rakennusalan yleisesti heikkoa suorituskykyä tarkastellaan kuitenkin liikkeenjohdon näkökulmasta eli miten rakennusyrityksiä johdetaan ja miten liiketoiminta käsitteellistetään käytännössä. Väitöskirjan tavoitteena on ymmärtää liiketoimintamallien roolia rakennusliiketoiminnan johtamisessa. Tavoitteen saavuttamiseksi vastataan neljään tutkimuskysymykseen erillisten osajulkaisujen avulla. Kaksi näistä julkaisuista edistää ymmärrystä liiketoimintamallien roolista enemmän käsitteellisestä näkökulmasta ja kahdessa korostuu empiirinen näkökulma. Tutkimus on toteutettu laadullisena tutkimuksena, jossa hyödynnetään tapaustutkimusta. Aineistonkeruu on pääosin tehty haastatteluin. Tämän tutkimuksen mukaan liiketoimintamallikonsepti soveltuu myös rakennusliiketoiminnan analysointiin ja kehittämiseen. Tämä kuitenkin edellyttää liiketoimintamallikonseptin laaja-alaista ymmärrystä ja sen elementtien asianmukaista yhteensovittamista myös käytännössä. Tutkimustuloksista voidaan päätellä, että nykyiset liiketoimintamallit, joiden mukaan rakennusyritykset toimivat, ovat liian samankaltaisia soveltuakseen arvoperusteiseen kilpailuun. Nämä tavanomaiset liiketoimintamallit eivät sisällä asiakasnäkökulmaa ja täten ne keskittyvät etupäässä sisäiseen tehokkuuteen asiakasarvon tuottamisen sijasta. Näin ollen rakennusliiketoimintaa johdetaan yleensä projektiperusteisesti ilman, että päätöksentekoa ohjaisi määritellyt asiakassuuntautuneet liiketoimintamallit, selkeä pitkäntähtäimen visio tai kasvu- ja eloonjäämistavoitteita pidemmälle asetettu päämäärä. Liiketoimintamallien parempi ymmärrys antaa lähtökohdan rakennusliiketoiminnan ja koko alan uudistamiseen. Selkeästi määritellyt liiketoimintamallit luovat perustan liiketoiminnan johdonmukaisuudelle ja prosessien kehittämiselle. Monia huomiotta jääneitä arvonluonnin mahdollisuuksia voidaan puolestaan hyödyntää, kun vältetään takertumasta vallalla olevan ajattelutavan rajoitteisiin ja suunnitellaan liiketoimintamallit toimiviksi arvonluonnin ja asiakkaan näkökulmista.

Submitted by Nadir Basilio (nadirsb@uninove.br) on 2018-04-03T18:33:23Z No. of bitstreams: 1 Sergio Tinoco Cordeiro Filgueiras.pdf: 1542185 bytes, checksum: b59f8efc7c666ea92de17e1ca8a6591f (MD5) / Made available in DSpace on 2018-04-03T18:33:23Z (GMT). No. of bitstreams: 1 Sergio Tinoco Cordeiro Filgueiras.pdf: 1542185 bytes, checksum: b59f8efc7c666ea92de17e1ca8a6591f (MD5) Previous issue date: 2018-02-22 / Public management has been going through a process of modernization in Brazil, adopting new techniques. Mechanisms of management have been developed in public projects seeking for improvements in the results so as to meet the demands of the population. The budgetary resources required to accomplish these projects are naturally scarce, aggravated by the current crisis. The manager needs to decide what to do and this decision must be made efficiently, using resources in a rational way so that its application turns out beneficial to the society. One of the instruments used in project management in the public sector is the Annual Budget Law (ABL), based on the multiannual plan. The ABL is the result of a budgetary proposal of the organization that must contain all projects of subsistence, modernization and innovation. The budgetary Proposal, therefore, must be aligned with the organization strategy and the demands of the society. Thus, the selection of the projects that will become part of the proposal represents a relevant step to this direction. Establishing rational criteria to decide, select, or manage is not simple. The choice of a model depends on the people, the environment, type of activity, the objectives and strategies of the organization, among other possibilities. This dissertation project aims to achieve the goal of proposing a method for the selection of projects for the budget proposal in the Federal Justice in São Paulo. To do this, it will apply a qualitative research approach, using a strategy of design science research (DSR). DSR is characterized by the detection of the problem, the construction of an artifact to solve this problem and its dissemination. The artifact of this study is the proposed method and was elaborated by means of survey and interviews with the participants in previous budget processes and research of documents related to the process. Likewise, the criteria to be applied in project selection were generated. The method and criteria were the objects of analysis of an exploratory focus group and another one, confirmatory for validation. The proposed method presents arguments for conference, verification and objective selection of projects, with clear criteria for decision making. Both method and criteria can contribute in practice to other public sector organizations in generating budgets. / A gestão pública vem passando por um processo de modernização no Brasil, com adoção de novas técnicas. Nos projetos públicos são desenvolvidos mecanismos de gestão para melhorar seus resultados com o propósito de prover as demandas da população. Os recursos orçamentários necessários para consecução desses projetos são escassos, naturalmente, agravado com a crise atual. O gestor precisa decidir o que fazer, e essa decisão deve ser feita com eficiência, utilizando os recursos de maneira racional para que sua aplicação seja transformada em benefício à sociedade. Um dos instrumentos utilizado no Judiciário Federal na gestão de projetos é a Lei Orçamentária Anual (LOA), baseada no Plano Plurianual. A LOA é o resultado de uma proposta orçamentária da organização que deve conter todos os projetos de subsistência, modernização e inovação. A proposta orçamentária deve estar, portanto, alinhada à estratégia da organização e às demandas da sociedade. Selecionar bem seus projetos, portanto, representa um passo relevante nessa direção. Estabelecer critérios racionais para decidir, selecionar ou gerir, não é simples, depende das pessoas, do ambiente, do tipo de atividade, dos objetivos e das estratégias da organização, entre outras possibilidades. Esta dissertação propôs um método para a seleção de projetos na proposta orçamentária para a Justiça Federal em São Paulo (JFSP). Para isso, aplicou uma abordagem de pesquisa qualitativa, utilizando uma estratégia de design science research (DSR). O DSR caracteriza-se pela detecção do problema, construção de um artefato para a solução desse problema e sua disseminação. O artefato deste estudo é o método proposto e foi elaborado por meio de questionários, entrevistas com os participantes dos processos orçamentários anteriores e pesquisas em documentos relacionados ao seu processo. Do mesmo modo foram gerados os critérios a serem aplicados na seleção dos projetos. O método e os critérios foram objetos de análise de um focus group exploratório e outro confirmatório para validação. O método proposto apresenta argumentação para conferência, verificação e seleção objetiva dos projetos, com critérios claros para a tomada de decisão. Ambos, método e critérios, podem contribuir na prática com outras organizações do setor público na geração dos orçamentos.

As organizações enfrentam pressão por geração de valor e, para tanto, buscam posicionar-se favoravelmente em seus setores de atuação, o que impõe a necessidade de definir uma estratégia clara e realizar investimentos alinhados a ela. Os investimentos são concretizados por meio de projetos, cuja seleção deve ser conduzida por um processo rigoroso, transparente e objetivo o que pode ser obtido com a definição de critérios de seleção baseados em indicadores quantitativos financeiros. Apesar da existência de muitos trabalhos com foco no alinhamento da carteira de projetos à estratégia do negócio, as discussões são conduzidas de modo qualitativo ou baseadas em exemplos específicos e aplicação de poucos critérios. O presente trabalho avalia, por meio de simulações, as implicações estratégicas dos diferentes tipos de critérios de seleção, incluindo visão de risco e retorno. Em resumo, o critério de maximizar o Valor Presente Líquido seleciona projetos de mais longa duração e fluxos de caixas positivos no longo prazo, o que favorece o crescimento da organização. Uma carteira desta natureza pode adequar-se a empresas que competem em indústrias em ritmo acelerado de crescimento. Os critérios, baseados na Taxa Interna de Retorno e no Índice de Lucratividade, selecionam projetos de elevado retorno sobre o capital investido, o que tende a privilegiar rentabilidade em vez de crescimento. Carteiras com estas características podem favorecer a atuação em indústrias de expressivo volume de mercado, porém baixas taxas de crescimento. Em contrapartida, os critérios baseados no Período de Retorno selecionam projetos de menor duração, cujos retornos ocorrem no curto prazo, característica que pode ser desejada quando a organização atua em uma indústria em declínio ou em linhas de negócio em que pretende desinvestir. / Organizations face pressure for value creation and seek a favorable position in their industry segments, what demands a clear strategy and investments aligned to it. Such investments are implemented through projects, which should be selected by a rigorous, transparent and objective process what can be achieved using quantitative financial criteria for project selection. Although there are several studies focused on the alignment of Project Portfolio to Corporate Strategy, discussions are qualitative in most cases or they are based on few specific selection criteria. In order to present a broader study on the field, this work simulates the strategic implication of different selection criteria, using a risk-reward framework. Major conclusion could be achieved on that way. For example, maximizing the Net Present Value selects long lasting projects with strong cash flow generation in the long term. Such portfolios have good fit for companies competing in high growth industries. Selection criteria based on the Internal Rate of Return or the Profitability Index select high return on investment projects, which drive more profitability than growth. Such portfolios are applicable for companies competing in high volume but low growth industries. On the other hand, criteria based on the Payback Period select short term return projects, which are applicable for companies competing in shrinking industries or in divesting business lines.

As organizações enfrentam pressão por geração de valor e, para tanto, buscam posicionar-se favoravelmente em seus setores de atuação, o que impõe a necessidade de definir uma estratégia clara e realizar investimentos alinhados a ela. Os investimentos são concretizados por meio de projetos, cuja seleção deve ser conduzida por um processo rigoroso, transparente e objetivo o que pode ser obtido com a definição de critérios de seleção baseados em indicadores quantitativos financeiros. Apesar da existência de muitos trabalhos com foco no alinhamento da carteira de projetos à estratégia do negócio, as discussões são conduzidas de modo qualitativo ou baseadas em exemplos específicos e aplicação de poucos critérios. O presente trabalho avalia, por meio de simulações, as implicações estratégicas dos diferentes tipos de critérios de seleção, incluindo visão de risco e retorno. Em resumo, o critério de maximizar o Valor Presente Líquido seleciona projetos de mais longa duração e fluxos de caixas positivos no longo prazo, o que favorece o crescimento da organização. Uma carteira desta natureza pode adequar-se a empresas que competem em indústrias em ritmo acelerado de crescimento. Os critérios, baseados na Taxa Interna de Retorno e no Índice de Lucratividade, selecionam projetos de elevado retorno sobre o capital investido, o que tende a privilegiar rentabilidade em vez de crescimento. Carteiras com estas características podem favorecer a atuação em indústrias de expressivo volume de mercado, porém baixas taxas de crescimento. Em contrapartida, os critérios baseados no Período de Retorno selecionam projetos de menor duração, cujos retornos ocorrem no curto prazo, característica que pode ser desejada quando a organização atua em uma indústria em declínio ou em linhas de negócio em que pretende desinvestir. / Organizations face pressure for value creation and seek a favorable position in their industry segments, what demands a clear strategy and investments aligned to it. Such investments are implemented through projects, which should be selected by a rigorous, transparent and objective process what can be achieved using quantitative financial criteria for project selection. Although there are several studies focused on the alignment of Project Portfolio to Corporate Strategy, discussions are qualitative in most cases or they are based on few specific selection criteria. In order to present a broader study on the field, this work simulates the strategic implication of different selection criteria, using a risk-reward framework. Major conclusion could be achieved on that way. For example, maximizing the Net Present Value selects long lasting projects with strong cash flow generation in the long term. Such portfolios have good fit for companies competing in high growth industries. Selection criteria based on the Internal Rate of Return or the Profitability Index select high return on investment projects, which drive more profitability than growth. Such portfolios are applicable for companies competing in high volume but low growth industries. On the other hand, criteria based on the Payback Period select short term return projects, which are applicable for companies competing in shrinking industries or in divesting business lines.

Submitted by Fernanda Ciolfi (fernanda.ciolfi@puc-campinas.edu.br) on 2016-08-11T19:07:05Z No. of bitstreams: 1 Anderson de Souza Ribeiro.pdf: 3519905 bytes, checksum: 24d0f2df16e1e4ca30d3e7eee439bd8b (MD5) / Made available in DSpace on 2016-08-11T19:07:05Z (GMT). No. of bitstreams: 1 Anderson de Souza Ribeiro.pdf: 3519905 bytes, checksum: 24d0f2df16e1e4ca30d3e7eee439bd8b (MD5) Previous issue date: 2016-05-28 / Pontif?cia Universidade Cat?lica de Campinas ? PUC Campinas / The Information and Communication Technology (ICT) advancement, and the growing need for higher data processing capacity, storage and higher data transfer rates demanded by the change in the behavior of society, which is more globalized and interconnected over the time, the opportunities for interaction and integration that covers private organizations and citizens of the Digital Cities or Smart Cities, it was necessary the use of technologies such as Cloud Computing to enable the population to consume the services available in this age. In this sense, it is necessary to select, and periodically prioritize, the scarce financial and human resources needed to implement the projects that offer the best value delivery proposal with the lowest possible investment, within the set deadlines, while respecting budgetary constraints, time and implementation capacity of organizations. Regarding the method of aid to decision-making, proposed in this work, for the selection and prioritization of systems for publication in Cloud, in an environment of heterogeneous telecommunications solutions, proposes a tool and a decision-making process that helps the public manager and private sector companies in the selection and prioritization of adherent solutions to their specific needs through the implementation of multi-criteria analysis , which consists of four hierarchical levels (Function objective, criteria categories, Subcriteria and System Options), and 5 categories of criteria to Digital cities (Financial Analysis, Technology Architecture, Governance, Digital Inclusion, Strategic Objectives), and 4 category criteria (Financial Analysis, Technical Architecture, Governance, Strategic Objectives) for corporate environments. This work was initially developed in simulation environment, and it was also applied in an education company and, in both cases, the results showed the method was useful to facilitate the manager's decision-making for the selection and prioritization of systems adherent to publication in cloud, in complex scenarios with multiple variables and constraints. / Com avan?o da Tecnologia da Informa??o e Comunica??o (TIC), e o crescimento da necessidade de poder de processamento, armazenamento, e altas taxas de transfer?ncia de dados demandadas pela altera??o no comportamento da sociedade, cada vez mais globalizada e conectada, e ainda pelas oportunidades de intera??o e integra??o que se abrem ?s organiza??es governamentais, empresas e cidad?os nesse novo contexto de Cidades Digitais, ou Cidades Inteligentes, fez-se necess?rio o uso de tecnologias como a Computa??o em Nuvem para viabilizar esta nova realidade, com fornecimento de servi?os ? popula??o, e a todos os seus agentes. Nesse cen?rio, h? que se selecionar e priorizar periodicamente os escassos recursos financeiros e humanos necess?rios para executar os projetos que oferecem a melhor proposta de entrega de valor, com o menor investimento poss?vel, dentro dos prazos estabelecidos, respeitando as restri??es or?ament?rias, de tempo e a capacidade de execu??o das institui??es. Nesse sentido o m?todo de aux?lio a tomada de decis?o, proposto neste trabalho, para a sele??o e prioriza??o de sistemas para publica??o em Nuvem, num ambiente de solu??es heterog?neas de telecomunica??es, prop?e uma ferramenta e um processo de tomada de decis?o que auxilia o gestor, seja do setor p?blico, ou em empresas do setor privado, na escolha e prioriza??o de solu??es aderentes ?s suas necessidades espec?ficas, atrav?s da realiza??o da an?lise multicrit?rio composta por 4 n?veis hier?rquicos (Fun??o objetivo, Categorias de Crit?rios, Subcrit?rios e Op??es de Sistemas), e 5 categorias de crit?rios para Cidades Digitais (An?lise Financeira, Arquitetura Tecnol?gica, Governan?a, Inclus?o Digital, Objetivos Estrat?gicos) no caso de institui??o p?blica, e 4 (An?lise Financeira, Arquitetura Tecnol?gica, Governan?a, Objetivos Estrat?gicos) para o seguimento corporativo . Este trabalho foi desenvolvido inicialmente em ambiente de simula??o, e tamb?m foi aplicado em uma Empresa de educa??o e, em ambos os casos, os resultados demonstraram como o m?todo foi ?til em facilitar a tomada de decis?o do gestor para a sele??o e prioriza??o de sistemas par a publica??o em nuvem, em ambientes e cen?rios complexos, com m?ltiplas vari?veis e restri??es.

Submitted by Nadir Basilio (nadirsb@uninove.br) on 2018-04-13T13:58:11Z No. of bitstreams: 1 Rodrigo Teixeira.pdf: 2344110 bytes, checksum: c11e0781ccd49b34b72a633f27081959 (MD5) / Made available in DSpace on 2018-04-13T13:58:11Z (GMT). No. of bitstreams: 1 Rodrigo Teixeira.pdf: 2344110 bytes, checksum: c11e0781ccd49b34b72a633f27081959 (MD5) Previous issue date: 2018-02-28 / Project selection is a useful activity for companies that need to choose one or more set of projects. Archer and Ghasemzadeh (1999) define project selection as a periodic activity to choose a set of projects. The project selection process is present in both private and public institutions and aims to maximize the results for the organization. In the public sector, implementations of project selection techniques arise with the implementation of the model called New Public Management, which applies techniques of the private sector to raise the results. According to Litvinchev et al. (2010) research in the process of project selection in the public sector still lacks attention on the part of the researchers when compared to research in the private sector. Seeking to fill the gap in project selection studies in the public sector, this research project analyzed how the practice of project selection influences the performance of the project portfolio of the State Judicial Branch. To achieve this objective, a qualitative exploratory research was carried out using a multiple case study strategy. Three cases representing different regions of the country were selected. It was concluded that the project selection activity in the state Judiciary is occurring in a disorganized way, using only some phases of the project selection process presented in the literature. The absence of a standardized model has generated a portfolio with excess of projects, unbalanced and with low alignment. Therefore, the performance of the institution is being affected, with high congestion rates and low rate of attendance to the demands. / A seleção de projetos é uma atividade útil para as empresas que precisam escolher um ou mais conjunto de projetos. Archer e Ghasemzadeh (1999) definem seleção de projetos como uma atividade periódica para escolher um conjunto de projetos. O processo de seleção de projetos está presente tanto em instituições privadas quanto públicas e tem como objetivo maximizar os resultados para a organização. No setor público as implantações de técnicas de seleção de projetos surgem com a implantação do modelo denominado Nova Gestão Pública, que aplica técnicas do setor privado para elevar os resultados. Segundo Litvinchev et al. (2010) a pesquisa no processo de seleção de projetos no setor público ainda carece de atenção por parte dos pesquisadores, quando comparado com pesquisas do setor privado. Buscando preencher a lacuna de estudos de seleção de projetos no setor público, este projeto de pesquisa analisou como a prática de seleção de projetos influencia no desempenho da carteira de projetos do Poder Judiciário Estadual. Para atingir este objetivo foi realizada uma pesquisa qualitativa exploratória utilizando-se como estratégia, o estudo de casos múltiplos. Três casos que representam diferentes regiões do país foram selecionados. Foi possível identificar que atividade de seleção de projetos no Poder Judiciário Estadual ocorre de forma desestruturada, utilizando-se apenas algumas fases do processo de seleção de projetos apresentada pela literatura. A ausência de um modelo padronizado gera uma carteira com excesso de projetos, desequilibrada e com baixo alinhamento. Como consequência apurou-se que a prática de seleção apresentada está influenciando negativamente o desempenho da carteira de projetos dos tribunais estudados.

Sustainability is one of the main drivers today for change in the world, many organisations are trying to be sustainable in their own way. One of the ways to do this is to integrate sustainability, or the triple bottom line (TBL), in their decision-making. This study concerns developing decision criteria for an NPO operating within the recycling- and waste management sector, to be applied in a project portfolio selection framework. Thus, the purpose of the study is to support decision-making that will promote sustainability by developing decision criteria. Consequently, the main research question for the study is: which criteria assure project selection aligned with TBL? The decision criteria were developed by following the five-step approach for developing criteria by Tillman and Cassone (2012). The research is designed as a qualitative single case study and the research questions are answered by conducting semi-structured interviews. The study has shown that by combining TBL and the five-step approach, criteria were able to be developed promoting all three dimensions of TBL. However, combining TBL and the five-step approach did imply some changes and adjustments to the original five-step approach. Hence, the discussion provides an outline of a suggested framework that integrates the TBL approachinto the development of decision criteria and metrics. / Hållbarhet är en av de viktigaste drivkrafterna för förändring i världen idag och olika organisationer försöker vara hållbara på sitt eget vis. En strategi att göra detta är att integrera hållbarhet, eller triplebottom line (TBL), i sitt beslutsfattande. Denna studie handlar om att utveckla beslutskriterier för tillämpning i ett ramverk för projektportföljstyrning för en icke vinstdrivande organisation som arbetar inom sektorn för återvinning och avfallshantering. Syftet med studien är således att stödja beslutsfattande som främjar hållbarhet genom att utveckla beslutskriterier. Följaktligen är den huvudsakliga forskningsfrågan för studien: vilka kriterier säkerställer att val av projekt är i linje med TBL? Beslutskriterierna utvecklades genom att följa tillvägagångssättet för en femstegsmetod för att utveckla kriterier av Tillman och Cassone (2012). Studien är utformad som en kvalitativ fallstudie och forskningsfrågorna besvaras genom semistrukturerade intervjuer. Studien har visat att genom att kombinera TBL och femstegsmetoden utvecklades kriterier som främjar alla tre dimensioner av TBL. Att kombinera TBL och femstegsmetoden innebar dock vissa förändringar och justeringar av den ursprungliga femstegsmetoden. Diskussionen presenterar därför ett förslag på ett ramverk som integrerar TBL i utvecklingen av beslutskriterier och mätetal.

In-service pavements require maintenance and rehabilitation (MandR) interventions to keep them in compliance with structural and functional standards. With the increased focus on the sustainability of our roadway systems, it has become important to document the cost and environmental impacts of different MandR strategies over the life cycle of the pavement to facilitate project selection decisions in the future. Asphalt pavement recycling, while cost-effective and environmentally friendly compared to other traditional MandR treatments, still faces some widespread implementation push-back, leading to policy enactments by the FHWA aimed at encouraging the use of recycling in road projects. Many agencies and contractors have cited the lack of project selection criteria, and uncertainty about long-term performance of these recycling alternatives as reasons impeding rapid implementation of these treatments in road projects. One of the gray areas of the FHWA's 2015 Recycled Material Policy in project selection was, until recently, the lack of guidelines or tools for the assessment of the environmental suitability of candidate MandR treatments. Today, it is almost impossible to evaluate the environmental suitability of various recycling-based end-of-service-life treatments because available databases do not have relevant information on the details of unit processes, construction equipment and activities, and use-stage roughness data. Development of future MandR plans throughout the service life of pavements rehabilitated with recycling-based treatments is somewhat limited as deterioration is not fully understood. Also, available modeling tools no not address all LCA phases, or in cases where they do, key life cycle phases including the MandR, and use phases are not well covered due to the lack of quantification highlighted earlier. To address the highlighted concerns, this dissertation developed a user-friendly comprehensive LCA tool that was further validated with a case study to quantify the service life (when the pavement has reached a critical threshold performance value) and potential environmental benefits of pavement recycling projects executed by the Virginia Department of Transportation over the past decade. The tool, pySuPave, includes an excel spreadsheet user-inputs interface, and database of economic flows for unit processes used in the production of pavement materials and subsequent construction of the pavement system, considering transportation of materials and construction machinery to plants and construction site. A python-based program was used to perform matrix-based computations to generate the environmental burdens from the available public LCA Ecoinvent database. A substantive part of the dissertation was dedicated to evaluating the performance of in-service pavements rehabilitated with cold recycling and full-depth reclamation treatments, focusing on developing pavement performance prediction models (PPPM) that goes on to improve modelling of the MandR and use stages in the pavement LCA and ultimately bridges the knowledge gap on how these treatments perform in the long term. This part of the dissertation was presented in two chapters; trends in pavement recycling and performance data collection, and development of PPPMs for recycled asphalt pavements. The first provides an update and examines the current state of pavement recycling techniques, highlighting trends in the various recycling methods, examining what is and is not working from the agency perspective, and assessing the progress made in the last decade through a web-based survey. The survey results did not indicate significant changes in the adoption of the asphalt pavement recycling concept in the last decade. However, recycling techniques, such as hot in-place recycling, are being used less and more agencies seem to be adopting lower temperature techniques such as cold in-place recycling, cold central plant recycling and full depth reclamation. Improvements in mix design methods were noticeable, as more agencies have adopted contemporary methods, such as the Superpave design. Among states, very few agencies collected performance data for completed asphalt pavement recycling projects. The second chapter on performance focused on developing individual and family-type PPPMs from the data collected from the states of Virginia and Colorado, respectively. While regression modeling forms the backbone of the approach used, the chapter also presents an approach to developing family-type models using functional data analysis to find groups of projects with similar deterioration trends. In the case of Colorado, cold in-place recycling (CIR) projects completed with an initial IRI between 71 and 91 in/mi are most likely to deteriorate at an average group rate of 1.37 in/mi/year. Similarly, full depth reclamation (FDR) projects will most likely deteriorate following an average group rate of 1.40 in/mi/yr, with an initial IRI between 52 and 70 in/mi. These projects will stay in service well over 30 years if a threshold IRI of 140 in/mi were used a failure criterion. For the individual roughness models developed for VDOT, the initial IRI values and the rate of change for the treatments analyzed were found to range between 48 and 85 in/mi and between 0.70 and 5.20 in/mi/year, respectively, depending on the recycling method and type of stabilization treatment. Finally, a context-based life cycle assessment case study was conducted to benchmark and compare the environmental impacts associated with rehabilitating a low-volume road with various recycled-based and equivalent conventional methods. Several impact indicators were assessed but only the global warming (GW) score and the single score index that combines all the environmental impact indicators into a single number using normalization and weighting factors were reported in this study for the sake of brevity. Four restorative maintenance projects including two CIR (4-in. HMA over a 5-in. CIR with foamed asphalt and emulsion stabilization), one cold central plant recycling (CCPR): 4-in. HMA over a 5-in. foamed asphalt CCPR (CCPR FA), and one non-recycling structural overlay (8-in. HMA over an existing pavement) were evaluated. In addition, the following reconstruction projects were assessed; two FDR (4-in. HMA over a 12-in. FDR with foamed asphalt with 1% cement additive, and a 4-in. HMA over 10.5-in. cement stabilized FDR), and a non-recycling reconstruction project (a new reconstruction project with 8-in. HMA over a 16-in. aggregate base and subbase). The functional unit was a two lane-mile length, 12 feet wide project with a traffic volume of 1000 vehicles (3% trucks) and the analysis was conducted for 50 years. The GW score and a few other impact indicators showed an increase in the observed results where cement is used as a main stabilizer or as an additive. Between the asphalt stabilized projects, the difference in impact scores is only seen when cement is used as an additive as highlighted in the case of foamed asphalt applications. Even for the low-volume road under study, the use stage contributes the largest share to global warming and is—among several factors—attributed to the initial surface roughness of completed projects. Thus, for state DOTs looking to reduce the environmental footprints for road infrastructure projects and achieve federal legislative goals, building smoother roads and taking steps to keep the annual deterioration rate low would be an important measure, in addition to pavement recycling. Comparing the projects based on the overall single score derived from weighting factors from the National Institute of Standards and Technology (NIST) ranks the projects as follows (listed in order decreasing impacts per rehabilitation category); restorative maintenance projects: T. OVERLAY (non-recycling structural overlay—8 in. HMA over an existing pavement) - 1.06 pts, CCPR FA (4 in. HMA over a 5 in. cold central plant recycling with foamed asphalt) - 1.02 pts, CIR FA (4 in. HMA over a 5 in. cold in-place recycling with foamed asphalt) - 1.00 pts, CIR AE (4 in. HMA over a 5 in. cold in-place recycling with emulsion)- 0.86 pts; reconstruction projects: RECONS (a new reconstruction project—8 in. HMA over a 16 in. aggregate base and subbase) -1.42 pts, FDR FA+C (4 in. HMA over a 12 in. FDR with foamed asphalt with 1% cement additive) - 1.15 pts, FDR C (4 in. HMA over 10.5 in. cement stabilized FDR) - 1.02 pts. / Doctor of Philosophy / Due to harsh environmental conditions and continual damage from moving traffic, highway pavements or roadways deteriorate and grow weak over time. Throughout their life in service, different maintenance and rehabilitation (MandR) activities are performed with the intention of slowing down the deterioration to always keep the highway at a certain level of service to road users. For a long time, these MandR activities have included the use of virgin materials in techniques ranging from minor treatment applications such as fog seals, chip seals, thin overlays through more heavy treatments such as mill and fills, thicker overlays all the way to total reconstruction. Other MandR alternatives include pavement recycling which reuses materials from the existing distressed roadways either in-place or at a nearby mobile plant have gained popularity among several state highway agencies over the last decade. The advantages of using the recycling alternatives compared to non-recycling options are many and have been known to include cost savings, less construction time, and low environmental footprint. Many highway agencies, however, have expressed the lack of information on project selection criteria and the uncertainty about long-term performance of these recycling alternatives as reasons impeding rapid and widespread implementation in road projects. Agencies need selection criteria to help them identify the right treatments to apply to the right road at the right time. In a bid to encourage the use of pavement recycling treatments, the Federal Highway Administration (FHWA) enacted the Recycled Materials Policy in 2006 (revised 2015) but the policy did not fully address certain aspects of project selection. Directives on assessing the environmental suitability of recycling projects, for instance, was not given. There are no tools with modern databases incorporating the various unit processes for pavement recycling to aid agencies carry out this environmental assessment. To address the highlighted concerns, we developed a user-friendly comprehensive environmental assessment tool called pySuPave as part of this dissertation. We later validated the tool with a case study to quantify the potential environmental benefits of pavement recycling projects executed by the Virginia Department of Transportation over the past decade. Next, we conducted a survey of the departments of transportation (DOT) around the United States and Canada to collect performance data from agencies with active in-place recycling programs. Approximately 18% of the DOTs surveyed were able to provide performance data. Data received from Colorado and Virginia were subsequently used to developed models to predict deterioration in recycled pavements. In the case of Colorado, CIR projects completed with an initial roughness (IRI) between 71 and 91 in/mi are most likely to deteriorate at a rate of 1.37 in/mi/year. Similarly, FDR projects will most likely deteriorate following an average group rate of 1.40 in/mi/yr, with an initial IRI between 52 and 70 in/mi. These projects will stay in service well over 30 years if a threshold IRI of 140 in/mi were used a failure criterion. For the individual roughness models developed for VDOT, the initial IRI values and the rate of change for the treatments analyzed were found to range between 48 and 85 in/mi and between 0.70 and 5.20 in/mi/year, respectively, depending on the recycling method and type of stabilization treatment Finally, we conducted an environmental assessment case study to benchmark and compare the environmental burdens i.e., global warming (GW) and other impacts associated with rehabilitating a low-volume road with various recycled-based and equivalent non-recycling methods. Four restorative maintenance projects including two CIR (4-in. HMA over a 5-in. CIR with foamed asphalt and emulsion stabilization), one CCPR (4-in. HMA over a 5-in. foamed asphalt CCPR [CCPR FA]), and one non-recycling structural overlay (8-in. HMA over an existing pavement) were evaluate. In addition, the following reconstruction projects were assessed; two FDR (4-in. HMA over a 12-in. FDR with foamed asphalt with 1% cement additive, and a 4-in. HMA over 10.5-in. cement stabilized FDR), and a non-recycling reconstruction project (a new reconstruction project with 8-in. HMA over a 16-in. aggregate base and subbase). The functional unit was a two lane-mile length, 12 feet wide project with a traffic volume of 1000 vehicles (3% trucks) and the analysis was conducted for 50 years. The study results showed that the recycling-based projects had lower overall environmental burdens compared to their equivalent non-recycling alternatives. The GW score and a few other environmental impact indicators were higher when cement is used as a main stabilizer or as an additive in the recycling projects. Between the asphalt stabilized recycling projects, the difference in impact scores is only seen when cement is used as an additive as emphasized in the case of foamed asphalt applications. Even for the low-volume roads under study, the use stage (when the project is open to road-users) in the pavement life cycle contributes the largest share to global warming and is—among several factors—attributed to the initial surface roughness of completed projects. Thus, for state DOTs looking to reduce the environmental footprints for road infrastructure projects and achieve federal legislative goals, building smoother roads and taking steps to keep the annual deterioration rate low would be an important measure, in addition to pavement recycling. The results from this research support the hypothesis that pavement recycling can reduce global warming and other environmental burdens compared to non-recycling methods. Therefore, agencies should encourage more pavement recycling programs.

The proposition of this dissertation is that superior capital budgeting solutions can be attained by not only analyzing projects individually but rather as part of a portfolio of projects that has the objective of maximizing the company’s range of multiple objectives, not only the economic benefit. The dissertation starts with a detailed study of current techniques and an assessment of flaws and shortcomings. This study concludes with the requirements that any new approach or model must address in order to improve on the current practices. Based on these requirements, a new model is developed based on the portfolio approach that integrates all the assumptions, constraints, project and variable interrelationships. An important feature of the model is that it selects its portfolio of capital projects in such a way that it optimizes support for the company’s multiple objectives, not only the economic objective. The dissertation concludes with the application of this model to a hypothetical case. It is concluded that, by developing and using this model, a company can improve the analysis required before capital budgets are finalized. / Dissertation (MEng (Industrial Engineering))--University of Pretoria, 2006. / Industrial and Systems Engineering / unrestricted